Mar 19, 2013 4:13pm

The Blotter Report: It’s a Greedy, Greedy Game

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Feb 04, 2016

NASAA Updates Series 63, 65, 66 Exam Content

The Series 63, 65 and 66 exams are keeping with the times. The North American Securities Administrators Association announced Thursday the exams,....More
Jan 28, 2016

FINRA Plans Changes to Registration and Testing Rules

The Financial Industry Regulatory Authority will be working on a number of rule changes in 2016, including moving forward on its plan to revamp....More
Jan 26, 2016

IBDs Lagging in Cybersecurity Safeguards

When it comes to cybersecurity, independent broker-dealers lag the wider industry on utilizing basic safeguards to protect customer information and....More
Jan 14, 2016

Chamber of Commerce to Fight DOL Fiduciary Rule

The U.S. Chamber of Commerce said Thursday it will use every tool at its disposal to challenge the Department of Labor’s proposed fiduciary rule,....More
Jan 11, 2016

ETF, Variable Annuity Sales Top SEC's 2016 Watchlist

The Securities and Exchange Commission will be looking more closely at exchange traded funds and variable annuities this year....More
Dec 31, 2015

Senior Hotline Sees Early Success

The Financial Industry Regulatory Authority’s Securities Helpline for Seniors has responded to over 2,500 calls and helped recover nearly $750,000....More
Dec 16, 2015

WATCH LIVE: Federal Reserve Meeting

Follow along as the staff provides up-to-the-minute on what advisors need to know about the Federal Reserve's decision to hike....More
Dec 11, 2015

SEC Goes After Soccer Club Owner for Fraud

The owner of an English soccer club is nothing more than a penny stock fraudster, mixing lies and threats to line his pocket with investors’....More
Dec 07, 2015

At Least We Can All Agree Fiduciary Is An Inconsistent Standard

How can the financial services industry expect investors to understand and care if their advisor is acting as a fiduciary when many participants don’....More
Dec 03, 2015

Democrats Step Up Fight Against Dodd-Frank Rollbacks

Progressive Democrats are pushing back hard on efforts to roll back Dodd Frank legislation and derail the Department of Labor’s fiduciary rule....More
Dec 02, 2015

Members of Congress Slam Robo Advice5

Congressional representatives slam the notion that so-called robo advisors can be an adequate source of investment advice in the wake of proposed....More
Nov 10, 2015

SEC Chair Mary Jo White Dances Around Fiduciary Timeframe

The head of the Securities and Exchange Commission played coy again on Tuesday when outlining a timeframe the industry can expect the the regulator’s....More
Nov 09, 2015

Tread Carefully When Outsourcing Compliance

Advisory firms that have outsourced their compliance programs may need to double check to ensure their providers are actually covering everything....More
Nov 05, 2015

Congressional Report Finds SEC, Others Lack Diversity

Minorities and women remain underrepresented at agencies that regulate the financial services industry, including at the Securities and Exchange....More
Nov 03, 2015

Greg Valliere: No Tax Increases—For Now

Don't expect Congress to push through any tax increases over the next few years, political analyst Greg Valliere said at FSI's annual Advisor Summit....More
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Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.

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